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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 5.09 | 04/15/2010 | M | 15,912 | (2) | 12/09/2018 | Common Stock | 15,912 | $ 5.09 | 60,008 | D | ||||
Stock Option (Right to Buy) | $ 6.33 | 04/15/2010 | M | 4,088 | (3) | 01/01/2019 | Common Stock | 4,088 | $ 6.33 | 64,645 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Corbus Barclay C/O CLEAN ENERGY FUELS CORP. 3020 OLD RANCH PARKWAY, SUITE 400 SEAL BEACH, CA 90740 |
Senior Vice President |
/s/ Mitchell W. Pratt, Attorney-in-Fact | 04/15/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2010. |
(2) | The stock option was granted to the reporting person under the Issuer's Amended & Restated 2006 Equity Incentive Plan. The stock option becomes exercisable as to 34% of the underlying shares on 12/10/2009, the first anniversary of the date of grant, and 33% on each anniversary thereafter until the option is fully vested. |
(3) | The stock option was granted to the reporting person under the Issuer's Amended & Restated 2006 Equity Incentive Plan. The stock option becomes exercisable as to 34% of the underlying shares on 01/02/2010, the first anniversary of the date of grant, and 33% on each anniversary thereafter until the option is fully vested. |